Georgia Mason

Compliance Advice ManagerCardiff (Hybrid)An exciting opportunity for an experienced Compliance Advice Manager to join a leading UK insurance business. You’ll provide expert regulatory guidance across key projects, ensuring compliance with FCA requirements and supporting the delivery of good customer outcomes. Key Responsibilities:Provide clear, practical advice on FCA rules and regulatory developments.Support Consumer Duty implementation and new product launches.Oversee conduct and regulatory risks across business initiatives.Advise on regulatory change projects and ensure timely compliance.Build strong stakeholder relationships and influence senior decision-makers.Lead complex reviews and mentor junior team members.Requirements:3–5 years’ compliance advisory experience, ideally in General Insurance.Strong knowledge of the FCA regulatory framework.Proven experience with Consumer Duty and product launch compliance.

Senior Financial Crime & Compliance ManagerLondon/ ReadingA leading financial services organisation is seeking a Senior Financial Crime & Compliance Manager to ensure adherence to regulatory requirements and internal policies. Acting as deputy to the Head of Compliance/MLRO, this role manages financial crime risks, regulatory change, and promotes a strong compliance culture across the business. Responsibilities:Provide expert advice and guidance on financial crime and regulatory compliance matters.Develop and maintain policies, controls, and training to prevent money laundering, fraud, and bribery.Monitor and implement regulatory changes, ensuring business-wide compliance.Lead risk assessments and identify opportunities to strengthen compliance practices.Deputise for the Head of Compliance/MLRO, ensuring oversight and continuity.Requirements:Proven experience in compliance and financial crime prevention within a regulated environment.Strong knowledge of UK regulations, including AML, POCA, Bribery Act, and sanctions regimes.Excellent communication, analytical, and decision-making skills.

Senior Compliance Monitoring ManagerLondon or ReadingAn opportunity to join a growing, people-focused financial services organisation. The Senior Compliance Monitoring Manager will lead compliance monitoring activities, ensuring effective oversight of regulatory risks and promoting a strong compliance culture. Responsibilities:Lead and deliver the compliance monitoring programme and risk assessments.Identify and report on regulatory risks and areas of non-compliance.Provide clear guidance and challenge on compliance matters to senior stakeholders.Support key business initiatives and ensure compliance input on projects.Promote a culture of integrity, accountability, and risk awareness across the business.Requirements:Significant compliance monitoring experience within financial services.Strong knowledge of FCA regulations and conduct risk.Excellent communication and stakeholder management skills.

Business Quality Consultant Overview   To act as quality control for advice through file checking, to ensure that advice meets business and regulatory requirements. Assist with the management of business issues and complaint investigations to resolution. Key Responsibilities: Review pre-and-post advice files in line with the firms’ T&C schemeProvide technical and regulatory support to advise teams where appropriate.Maintain awareness of the regulatory environment which may have an impact on the business.Comply with compliance procedures, including TCF, Data Protection and FCA Regulations at all times.Complete file checking feedback documentsEnsure file checking data is collated and kept up to dateExperience & Qualifications:Level 4 Diploma in Regulated Financial Planning (DipPFS or DipFA)-  (approaching DipPFS may be considered)Working knowledge of FCA Principles and Rules.Good understanding of the Financial Planning process.Previous experience in a similar role within the IFA/ Wealth and Financial Planning industry

Business Quality Consultant Overview   To act as quality control for advice through file checking, to ensure that advice meets business and regulatory requirements. Assist with the management of business issues and complaint investigations to resolution. Key Responsibilities: Review pre-and-post advice files in line with the firms’ T&C schemeProvide technical and regulatory support to advise teams where appropriate.Maintain awareness of the regulatory environment which may have an impact on the business.Comply with compliance procedures, including TCF, Data Protection and FCA Regulations at all times.Complete file checking feedback documentsEnsure file checking data is collated and kept up to dateExperience & Qualifications:Level 4 Diploma in Regulated Financial Planning (DipPFS or DipFA)-  (approaching DipPFS may be considered)Working knowledge of FCA Principles and Rules.Good understanding of the Financial Planning process.Previous experience in a similar role within the IFA/ Wealth and Financial Planning industry

Lead Quality & Regulatory Specialist Location: London A leading innovative digital health company is seeking a Lead Quality & Regulatory Specialist to support the VP of Regulatory in developing and executing quality and regulatory strategies for Software as a Medical Device. This hands-on role will be instrumental in building and maintaining regulatory compliance frameworks across the US, UK, and EU, helping prepare products for certification and market clearance.Role Responsibilities:Support the development and execution of global regulatory and quality strategies.Prepare and review documentation for FDA, EU MDR, and UK MHRA submissions.Define device intended use, risk classification, and regulatory pathways for SaMD.Assist in the implementation and maintenance of the Quality Management System aligned with ISO 13485, 21 CFR Part 820, and EU MDR.Draft and maintain SOPs, work instructions, and templates.Contribute to the creation and management of technical documentation and medical device files.Support internal and external audit readiness, including training and CAPA management.Partner with cross-functional teams to ensure regulatory requirements are integrated into product development.Requirements:6+ years’ experience in Regulatory Affairs and Quality Assurance within medical devices, digital health, or SaMD.Proven experience with FDA and/or EU MDR submissions (Class II or higher).Strong understanding of regulatory frameworks and standards, including ISO 13485, ISO 14971, IEC 62304, and 21 CFR Part 820.Hands-on experience supporting QMS implementation and audit preparation.Desirable: Experience setting up QMS from scratch, using regulatory tools (e.g., MasterControl, Greenlight Guru), or acting as PRRC/Deputy PRRC.

Group AFC – Advisory Manager (12-Month Fixed-Term Contract) Location: EdinburghA great opportunity with a leading multinational investment firm for an experienced Anti-Financial Crime professional. The role supports the Head of AFC Advisory & Operations in managing the Group’s AFC Risk & Control Framework, providing expert advice across AML, Sanctions, CT&PF, ABC, and AMS. Responsibilities:Act as AFC subject matter expert across AML, Sanctions, CT&PF, ABC, and AMS.Maintain and enhance AFC policies, controls, training, and documentation.Oversee and resolve breaches, ensuring effective remediation.Review AFC-related clauses in legal agreements.Lead and implement AFC policy and regulatory changes.Requirements: Knowledge & ExperienceExtensive AFC experience within Financial Services.Strong understanding of AML, Sanctions, CT&PF, ABC, and AMS.ICA Diploma in AML or equivalent (essential).

Head of Legal & Compliance (SMF16/17)An established international bank is seeking an experienced Head of Legal & Compliance to lead its UK operations. This is a Senior Management Function position, reporting directly to the CEO and playing a critical role in ensuring the firm’s adherence to UK regulatory requirements. The role offers the opportunity to shape compliance culture, oversee legal matters, and provide strategic input at executive and board level. Key Responsibilities: Compliance & Financial CrimeOversee regulatory compliance, AML, sanctions, ABC, fraud and financial crime frameworks.Deliver the Compliance Monitoring Plan and report key risk indicators to senior management and the Board.Manage interactions with regulators (FCA, PRA) and internal/external stakeholders.Oversee the preparation of MLRO reports and enterprise-wide risk assessments.Lead compliance training and competency programmes across departments.Legal OversightProvide legal advice and oversight on contracts, litigation, and governance matters.Manage relationships with external legal counsel and ensure effective resolution of legal matters.Requirements:Significant experience in senior legal and compliance roles within retail banking experience.Strong knowledge of UK regulatory frameworks (FCA/PRA) and expectations under SMF16/17.Proven leadership skills with experience managing multi-disciplinary compliance and legal teams.